RIGS · ALPS Strategic Income Fund ETF

$22.56 +0.04 (+0.19%) At close · Sep 4

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP →

Quarter:

Holders: 42

Total Value: $63,718,876

Total Shares: 2,784,917

Institutional Ownership Trend

17 quarters

Holder Concentration

Across 42 13F filers · Δ vs Dec 31, 2023

Top Holder

19.7%

+5.7 pts

Top 5

50.5%

+5.0 pts

Top 10

71.4%

+5.3 pts

HHI

775

Broadly held+160

Quarterly Activity

vs Dec 31, 2023

New

Increased

Decreased

Sold Out

Unchanged

Holder count: -6

Institutional value: -0.9%

Shares held: +0.3%

Top Buyers

vs Dec 31, 2023

Institution	Added	Now Holds
Small Elevated Capital Advisors, LLC	+159,563	548,439
Mega LPL Financial LLC	+112,529	139,250
Mid RiverFront Investment Group, LLC	+30,501	234,756
Small ARKANSAS FINANCIAL GROUP, INC.	+17,987	66,581
Mega ENVESTNET ASSET MANAGEMENT INC	+16,496	133,567

Top Sellers

vs Dec 31, 2023

Institution	Sold	Now Holds
Mega ROYAL BANK OF CANADA	−71,496	41,318
Mega MORGAN STANLEY	−57,505	272,637
Small Koshinski Asset Management, Inc.	−49,876	68,883
Micro CAPITAL WEALTH MANAGEMENT, LLC	−9,667	55,928
Mega UBS Group AG	−7,197	89,312

Top New Positions

vs Dec 31, 2023

Institution	Acquired	Value (USD)	Open
Mid Equitable Holdings, Inc.	9,848	$225,322
Mid WASHINGTON TRUST Co	510	$11,668

Top Sold-Out Positions

vs Dec 31, 2023

Institution	Previously Held	Last Value (USD)
Mid Prospera Financial Services Inc	72,670	$1,683,037
Mega RAYMOND JAMES & ASSOCIATES	45,279	$1,048,661
Large Cetera Advisor Networks LLC	31,528	$730,188
Micro Fiduciary Planning LLC	27,260	$631,341
Mega SUSQUEHANNA INTERNATIONAL GROUP, LLP	19,000	$440,040

Filter: New 2 Increased 18 Reduced 14 Sold out 8 Unchanged 8

Showing 42 of 42

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Elevated Capital Advisors, LLC RIGS

$12,548,284

19.69%

548,439

MORGAN STANLEY RIGS

$6,237,933

9.79%

272,637

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY SMITH BARNEY LLC	272,637	$6,237,933	100.0%	Defined

RiverFront Investment Group, LLC RIGS

$5,371,217

8.43%

234,756

Cambridge Investment Research Advisors, Inc. RIGS

$4,480,819

7.03%

195,840

OSAIC HOLDINGS, INC. RIGS

$3,567,791

5.60%

155,935

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	28,884	$660,865	18.5%	Defined
SECURITIES AMERICA ADVISORS INC	127,051	$2,906,926	81.5%	Defined

LPL Financial LLC RIGS

$3,186,040

5.00%

139,250

ENVESTNET ASSET MANAGEMENT INC RIGS

$3,056,012

4.80%

133,567

Certified Advisory Corp RIGS

$2,899,948

4.55%

126,746

TRUIST FINANCIAL CORP RIGS

$2,079,677

3.26%

90,895

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Truist Advisory Services, Inc.	90,895	$2,079,677	100.0%	Defined

UBS Group AG RIGS

$2,043,457

3.21%

89,312

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	87,926	$2,011,746	98.4%	Defined
UBS Securities LLC	1,386	$31,711	1.6%	Defined

JANE STREET GROUP, LLC RIGS

$1,946,241

3.05%

85,063

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	85,063	$1,946,241	100.0%	Defined

Janney Montgomery Scott LLC RIGS

$1,621,436

2.54%

70,867

Koshinski Asset Management, Inc. RIGS

$1,576,043

2.47%

68,883

ARKANSAS FINANCIAL GROUP, INC. RIGS

$1,523,373

2.39%

66,581

CAPITAL WEALTH MANAGEMENT, LLC RIGS

$1,279,632

2.01%

55,928

Baird Financial Group, Inc. RIGS

$1,168,435

1.83%

51,068

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BAIRD ROBERT W & CO INC /WI/	51,068	$1,168,435	100.0%	Defined

Raymond James Financial Services Advisors, Inc. RIGS

$1,009,831

1.58%

44,136

ROYAL BANK OF CANADA RIGS

$945,355

1.48%

41,318

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	23,610	$540,196	57.1%	Defined
RBC Dominion Securities Inc.	17,708	$405,159	42.9%	Defined

Private Advisor Group, LLC RIGS

$902,387

1.42%

39,440

Cetera Investment Advisers RIGS

$777,027

1.22%

33,961

ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC RIGS

$747,970

1.17%

32,691

Ausdal Financial Partners, Inc. RIGS

$636,498

1.00%

27,819

Kestra Advisory Services, LLC RIGS

$580,808

0.91%

25,385

RDL FINANCIAL INC RIGS

$563,191

0.88%

24,615

IFG Advisory, LLC RIGS

$504,961

0.79%

22,070

PFG Advisors RIGS

$432,820

0.68%

18,917

TAP Consulting, LLC RIGS

$403,877

0.63%

17,652

Laraway Financial Advisors Inc RIGS

$322,447

0.51%

14,093

Opal Wealth Advisors, LLC RIGS

$309,566

0.49%

13,530

CIBC WORLD MARKET INC. RIGS

$233,513

0.37%

10,206

Equitable Holdings, Inc. RIGS

$225,322

0.35%

9,848

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
EQUITABLE ADVISORS, LLC	9,848	$225,322	100.0%	Defined

Advisory Alpha, LLC RIGS

$224,338

0.35%

9,805

Farther Finance Advisors, LLC RIGS

$74,360

0.12%

3,250

MGB Wealth Management, LLC RIGS

$65,413

0.10%

2,859

Geneos Wealth Management Inc. RIGS

$45,760

0.07%

2,000

BENJAMIN F. EDWARDS & COMPANY, INC. RIGS

$40,336

0.06%

1,763

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BENJAMIN EDWARDS INC	1,669	$38,186	94.7%	Defined
Held directly	94	$2,150	5.3%	Defined

Washington Trust Advisors, Inc. RIGS

$33,267

0.05%

1,454

GUARDIAN WEALTH ADVISORS, LLC / NC RIGS

$22,880

0.04%

1,000

Global Retirement Partners, LLC RIGS

$14,505

0.02%

634

WASHINGTON TRUST Co RIGS

$11,668

0.02%

510

NewEdge Advisors, LLC RIGS

$4,438

0.01%

194

PROEQUITIES, INC. RIGS

0.00%

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
G1 EXECUTION SERVICES, LLC	19,000	$440,040	100.0%	Defined